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Are you ready for the new Reg S-P?
The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.
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Tokenization and SEC oversight: Six essential updates for RIAs in 2026
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
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FINRA proposes finalizing updates to outside business activity rules
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
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Golsan Scruggs 2025 RIA Risk Survey highlights fraud and cyber concerns
Cyber risk remained in the top tier of concern as regulatory risk slipped.
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How RIAs can build a sturdy compliance program
An at-a-glance guide to building a robust compliance program, and the role of the CCO.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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SEC panel explores pros, cons of RIA ability to require arbitration
Contractual provisions to arbitrate disputes can be less-than-transparent and restrictive — but also sometimes cheaper and less burdensome than litigation.